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Jun. 17, 2013
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Non-Operating Income Hidden in Operating Earnings

Non-operating items in operating income are unusual gains that don’t appear on the income statement because they are bundled in other line items. Without careful footnotes research, investors would never know that these non-recurring income items distort GAAP numbers by artificially raising operating earnings....More
Jun. 17, 2013
blog

Good News for Advisors: DIY Investor Satisfaction Wanes

While the industry has been losing market share to the self-directed channel, a new J.D. Power report finds that satisfaction with the do-it-yourself platforms such as Scottrade and Charles Schwab has decreased from last year....More
Jun. 17, 2013
blog

How to Find the Best Style Mutual Funds

Finding the best mutual funds is an increasingly difficult task in a world with over 6000 to choose from....More
Jun. 17, 2013
Article
REP.

The Power of Persuasion

These small acts for clients’ children and grandchildren can make a big difference....More
Jun. 17, 2013
Article
REP.

First Timers

Cold calling is out; networking is in. Here’s how to jump start a practice – from scratch....More
Jun. 17, 2013
blog

Merrill to Settle with Client Associates for $12M

To resolve allegations it failed to pay client associates overtime, Merrill Lynch agreed to fund a $12 million settlement fund....More
Conference

Outsourced CIO Summit

June 22nd - 24th, 2013 - Miami Beach, FL
Are you considering outsourcing all or part of your investment management functions? If so, you can’t miss this unique event that delves into the specifics of investment outsourcing. This the ONLY event that focuses in-depth on the key issues involved in deciding to outsource: governance and policy issues, various outsourcing models, vendor selection, due diligence, and much more. Plus, you’ll hear case studies from investors who have gone through the process themselves!...More
Jun. 15, 2013
Article

Top Insider Trades 6/14/13: ARP, PBF, ACG, LINE

Which stocks are getting attention from insiders?...More
Jun. 14, 2013
Article

Are the BRICs Broken?

Brazil, Russia, India, and China won’t likely lead the emerging markets in the years ahead. Instead, investors should look to smaller countries....More
Jun. 14, 2013
blog

FA Gets Jail Time for Running Pot Ring

The financial brains behind an illegal marijuana operation will be spending the next year and a half behind bars. Cue the jokes about his high returns....More
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New Company set up

Hello, I am currently in the process of setting up my own FA firm. Actually it is a financial service firm including bookkeeping and budgeting services with financial planning as well. My business model is to be a flat fee to review portfolios, make suggestions & assist client with paperwork etc . I do not want to actually manage the investments which I feel allows me to recommend low expense products such as index funds etc.. My clientele will be the small accounts that every other FA would not want....More

Being heavily recruited, but I'm taking my CFA?

Greetings earthlings, I am a bit of a nerd and slightly OCD. I started receiving emails when I got over 500 contacts on Linkedin and posted my financial resume on monster. I don't exactly know what I was hoping for, but I started receiving recruitment messages from places like Ameriprise. As is my way, I launched into full nerd mode and started researching the company. I am still in that phase now. It has only been 2 days. The person that called me, assured me that everything that was written in the recruitment email was correct:...More
The Most 'Liked' Brokerage in the U.S.


Check out which firms are the most (and least) popular on Facebook.



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Most Recent Blogs & Columns
Jun. 18, 2013
blog

Not So Fast: Congressional Letter Could Put a Kink in DOL’s Proposal

Thirty-two members of Congress from minority caucuses have sent a letter to the Department of Labor, arguing that the agency's fiduciary proposal could disadvantage their constituents and limit minority access to financial advisors....More
Jun. 18, 2013
Commentary

Death of the Small Broker-Dealer

Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past......More

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